 JENNIFER D. LAMMERS is U.S. Asset Management Chief Compliance Officer for Ameriprise Financial and Chief Compliance Officer for the RiverSource Funds, Ameriprise Certificate Company and Kenwood Capital Management LLC. Prior to joining the Ameriprise Financial company she served as President of Tamarack Mutual Funds (and its predecessor funds) at Voyageur Asset Management and RBC Dain Rauscher. In addition to her role as President of the Tamarack Funds she served as Director, Mutual Funds-Voyageur Asset Management and Director of Finance for Voyageur Asset Management. She holds a BA from Brigham Young University and an MBA from the University of Houston.
 DAVID LUI is Chief Compliance Officer with FAF Advisors / First American Funds. He is responsible for the creation and execution of a strategic plan to support the mutual fund and investment advisor's compliance program; he is a member of the Asset Manager’s Operating Committee. Lui has more than 19 years of experience in compliance and investment company law. He is a member of the Board of Directors of the National Society of Compliance Professionals and is a nationally recognized speaker on compliance issues. Lui received an AB in history from Brown University in Providence, Rhode Island, and a JD from the University of California, Hastings College of Law in San Francisco.
 RAJESH K. AGGARWAL is an associate professor of finance at the Carlson School of Management, University of Minnesota. He previously taught at Dartmouth College, the University of Michigan, the University of Virginia, and Oxford University. He conducts research on managerial incentives and executive compensation, financial contracts and corporate finance, corporate governance, mergers and acquisitions, initial public offerings, and securities fraud. His research is published in top journals such as the Journal of Political Economy, the Journal of Finance, the Journal of Financial Economics, the Journal of Business, and the Journal of Money, Credit, and Banking. Aggarwal holds a BA in Economics from Yale University and a PhD in Finance and Economics from Harvard University.
 ALFRED MARCUS is a professor of Strategic Management and Organization at the Carlson School of Management, University of Minnesota and co-director of the School’s Center for Integrative Leadership. In addition to teaching courses in ethics and leadership at the Carlson School, Marcus teaches in the Management of Technology Program in the Center for Technological Development and Leadership at the University of Minnesota where he also serves as the Edson Spencer Endowed Chair in Strategy and Technological Leadership. His current work focuses on the factors that result in long-term business success. His books on this topic include: Management Strategy: Achieving Sustained Competitive Advantage; Winning Moves: A Strategic Management Casebook; and Big Winners and Big Losers: The 4 Secrets of Long-Term Business Success and Failure. Marcus has consulted with numerous major corporations. He earned Bachelors and Masters Degrees from the University of Chicago and his PH.D from Harvard University.
 MOUHAMED BA is a Senior Manager in the Regulatory & Capital Markets Consulting group of Deloitte & Touche LLP. His engagements include performing verification services under the Global Investment Performance Standards (“GIPS”), assisting clients in documenting the policies and procedures they have in place in order to maintain compliance with the GIPS, conducting SAS70 examinations for investment management companies, assisting investment advisers conduct periodic assessments of their policies and procedures as they relate to compliance with federal securities laws, and participating in information gathering and assessment projects surrounding mutual fund profitability calculation processes. He has also participated in, and directed compliance program rule-related attestations. He holds a “Mastère Spécialisé” (post-graduate degree) in Organization & Audit of Financial Markets Activities and a Master in Management from CERAM Graduate Business School in Nice – Sophia Antipolis (France).
 MICHAEL CHUNG is a Senior Manager in the Regulatory & Capital Markets Consulting practice of Deloitte & Touche LLP. In his 10 years with Deloitte & Touche he has performed regulatory compliance assessments of investment advisers and hedge fund managers, assisted in developing compliance policies and procedures, assessed compliance programs and internal controls, developed risk frameworks, conducted business process and operational efficiency analysis, and data reconstruction and damage calculations. He is currently responsible for leading the Regulatory Risk & Compliance services in the Midwest. Chung holds a BA from Boston University, and MBA from Bentley College Graduate School of Management, and a JD from Suffolk University Law School.
 MICHAEL FAY, Principal, is the Northeast Leader for Deloitte and Touche LLP’s Investment Management Sector and is a director of Deloitte’s National Hedge Fund practice. He also serves as the Lead Client Service Partner for several of Deloitte’s strategic clients. Fay specializes in providing process evaluation and design, risk management, control attestation, regulatory and strategic consulting, and compliance system implementation and analysis services to our asset management clients. He leads Deloitte’s services with respect to Investment Compliance Monitoring, Sarbanes Section 302, and the SEC’s Compliance Program Rules (ICA Rule 38a-1 and IAA Rule 206(4)-7), which has included the development of Deloitte’s Compliance Program Design, Evaluation, and Attestation services. Fay received an undergraduate degree in finance from Bentley College, Massachusetts, and an MBA in business administration and accounting from Bentley Graduate School of Business. He is a Certified Bank Auditor and Certified Risk Professional.
 RON JAMES is President and Chief Executive Officer of the Center for Ethical Business Cultures (CEBC) at the University of St. Thomas, St. Paul, MN. In addition, James teaches business ethics in the graduate programs at the University of St. Thomas College of Business and the Carlson School of Management, University of Minnesota. James served on the Advisory Group of the United States Sentencing Commission with a task of reviewing the 10-year Federal Sentencing Guidelines that apply to Organizations, and has participated in President Bush’s Economic Summit focusing on Corporate Responsibility. Previously, James served as President and Chief Executive Officer of the Human Resources Group, an international division of Ceridian Corporation. Prior to joining Ceridian, James served as Minnesota’s top Executive Officer for US West Communications, Inc. and Regional Vice-President for US West, which included responsibilities for Iowa, Minnesota and Nebraska.
 PETER KREMBS is Manager of Peter Krembs, LLC. Previously he was Managing Partner of Consulting Partners. He has over 30 years of experience as a leadership development consultant to major U.S. and international corporations. Krembs also consults on organization development issues for companies experiencing rapid growth, and has designed and facilitated executive team and large group strategic planning work. He is co-author of On-The-Level; Performance Communication that Works, and has written on how to set performance expectations, give and receive feedback, and facilitate discussions about learning and development on the job. His graduate work is in industrial psychology from the University of Minnesota and his post-graduate certification is from the Gestalt Institute of Cleveland’s Organization and Systems Development Program.
 STEVE LENTZ is a partner with Faegre & Benson’s investment management practice. He specializes in the representation of SEC-registered investment advisors and investment companies (mutual funds). Lentz’s clients include large multi-office, multi-product institutional advisory firms, specialized investment advisory firms, and advisors to private investment funds. He routinely counsels clients on regulatory matters, including advertising, distribution, advisory agreements, trading practices, use of client commissions (“soft dollars”), disclosures, and regulatory examinations. A substantial part of Lentz’s practice is dedicated to compliance matters, including risk assessments, gap analyses, the drafting or refining of compliance programs and the annual compliance program review process. He also provides legal services to mutual funds and their boards of directors. He holds a BA from the University of Notre Dame and a JD from the University of Minnesota.
TYSON MAY is a manager practicing in the Regulatory & Capital Markets Consulting group of Deloitte & Touche LLP, in Chicago, IL. He has over seven years of experience in the financial services industry providing consulting services to investment companies, investment advisers, hedge fund managers, private equity firms, broker/dealers, transfer agents, and custodian banks. May has performed regulatory compliance and operational assessments of investment advisers and hedge fund managers, assisted asset management firms and institutional investors develop risk management frameworks and policies and has vast experience with domestic and international regulations regarding shareholder reporting requirements. In connection with these regulations, he has developed workflows and methodologies to (1) analyze regulatory requirements, (2) calculate position exposure as defined by the regulations, and (3) develop policies and procedures.
 HENRY MILES consults as a principal in the Waypoint/Willow Alliance for international financial services and information technology firms. He has 30 years of experience in financial services covering a variety of areas including credit analysis and underwriting, workouts and turnarounds, international trade finance and arbitrage, managerial accounting, mergers and acquisitions, information technology, and risk management and compliance. He has worked at US Bank, and served as Chief Information Officer and Chief Compliance Officer of RBC Dain Rauscher. In addition to overseeing day-to-day operations, Miles has led many successful mission-critical projects including the integration of major acquisitions. He earned his MBA from the University of Minnesota and participated in case work underlying Van de Ven, Angle, and Poole’s widely heralded work on“Research on the Management of Innovation.” Also, together with Drs. Bastien and Hostager, Miles co-published ground-breaking research on the competitive opportunities in rival acquisitions.
 ANN E. OGLANIAN is President and Chief Executive Officer of ReGroup, LLC, a San Francisco-based consulting firm. ReGroup provides strategic and tactical guidance to investment advisors, boards of directors, hedge funds and broker/dealers regarding all areas of business risk management, including regulatory management and the development and assessment of compliance programs. Formerly, Oglanian was the Managing Director, General Counsel and Chief Compliance Officer for San Francisco-based Montgomery Asset Management. Prior thereto, she was a partner in the investment services practice group of the Chicago-based law firm, Vedder Price, where she represented a wide range of mutual funds, investment advisers, independent fund directors and broker/dealers. Formerly, Ann served as in-house counsel to Strong Capital Management and Kemper Financial Services. Oglanian holds a BA from Trinity University, TX and a JD from the University of Iowa, College of Law.
MICHAEL PITTS is a Manager in the National Regulatory and Capital Markets Consulting Practice of Deloitte & Touche LLP, which specializes in providing regulatory compliance, internal control, and business advisory services to investment companies, investment advisers, broker-dealers, insurance companies, banks, and law firms He has performed operational and compliance risk assessments, control attestation services, litigation support services, data reconstruction and damage calculations, verification services under the Global Investment Performance Standards (GIPS®), and anti-money laundering evaluations. He also assists corporate pension plans, endowments, fund of funds managers, and other fiduciaries with performing operational and compliance risk assessments of their external asset managers.
 DAVE ROSEDAHL is an Attorney for Briggs Morgan practicing in the Business Litigation Section and Financial Markets Group. He has more than 30 years of experience in the financial markets industry, specifically in the securities regulatory area and practices primarily in the areas of regulatory compliance and enforcement, financial markets counseling, corporate governance, and dispute resolution. Rosedahl’s unique background as a former chief regulatory officer of the Pacific Exchange, managing director and general counsel for Piper Jaffray Companies, and associate general counsel and corporate secretary for the Securities Industry Association gives him a well-balanced perspective on investment and financial services issues, regulatory investigations, enforcement actions, remedial work and general inquiries. He received a BA and JD from Columbia University, New York.
 ERIC SWANSON, is Chief Counsel for Regulatory Strategy at Ameriprise Financial, Inc. He manages a staff of attorneys, project managers, and analysts in connection with responding to regulatory inquiries, developing and maintaining regulatory relationships, and tracking and analyzing new and proposed rules and regulations. Previously Swanson served at the Securities and Exchange Commission ("SEC") in Washington, DC, most recently as an Assistant Director in the Office of Compliancer Inspections and Examinations. While at the SEC, he directed a staff of attorneys and examiners in conducting routine and cause inspections of broker-dealers, investment advisors, transfer agents, and self regulatory organizations for compliance with the federal securities laws. Prior to joining the SEC, Swanson served as law clerk to the Honorable Donald J. Russell of the United States 4th Circuit Court of Appeals. He holds a Bachelors degree in economics from the University of Minnesota and a JD from Hamline University School of Law.
 TOM WAGNER is the Chief Compliance Officer of Deephaven Capital Management, LLC. Deephaven is a U.S. registered investment advisor of alternative investments with office locations in Minneapolis, London, and Hong Kong. Before joining Deephaven, Wagner spent ten years at RBC Dain Rauscher in various finance and compliance positions including, most recently, Senior Vice President & Director of Surveillance. He also spent nine years at US Bancorp in various positions including Vice President Corporate Development/Acquisitions and Senior Financial Manager for the Trust, Asset Management and Brokerage units. Wagner has an MBA. from Arizona State University and a BA in Economics from Gustavus Adolphus College in St. Peter, Minnesota.
E. KEITH WIRTZ, Chief Investment Officer, Fifth Third Asset Management
PAMELA K. ZIERMANN is Senior Vice President, Compliance and Human Resources at Dougherty Financial Group LLC. She is responsible for Compliance and Human Resources for one broker-dealer/investment adviser (Dougherty & Company LLC) and four investment advisers (The Clifton Group, Segall Bryant & Hamill, Somerset Asset Management LLC and Somerset Advisers LLC). She has served and continues to serve on various industry committees. These include National Society of Compliance Professionals committees, the Municipal Securities Rulemaking Board Professional Qualifications Advisory Committee and FINRA’s Small Firm Advisory Board, Registration and Licensing Counsel, New Account Form Task Force, the Small Firm Rules Impact Task Force and District Business Conduct Committee. She is a speaker at national and regional compliance conferences.
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JOHN H. WALSH is Associate Director-Chief Counsel in the Office of Compliance Inspections and Examinations of the United States Securities and Exchange Commission. He is the senior legal officer for the Commission's examination program and manages selected special examination initiatives. Generally, his initiatives focus on new or emerging issues, involve the coordination of multiple regulators, or require expertise that is new to the program. Mr. Walsh has published widely on the law and practice of securities compliance. Walsh’s received a J.D. from Georgetown University, a Ph.D. in history from Boston College, and a certificate from the John F. Kennedy School of Government, Harvard University.